DFX Intelligence

F••••••• W•••••••• M••••••••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

F••••••• W•••••••• M••••••••• L•••••

CRD 161367

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f023223a-f54f-9ab0-9c7c-b6993137fa1d

Data as of Mar 27, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 1
Observed: Jun 25, 2013 to Mar 27, 2014
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

F••••••• W•••••••• M••••••••• L•••••

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $128M••• Locked
Discretionary RAUM: $128M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••• L•	Hedge Fund	$87.7M	Jan 15, 2015	2	Feb 23, 2012	reported	021-83959
F••• L•	Hedge Fund	$17.1M	Jan 15, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• J•••••• M•••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	04/2002	Jun 25, 2013	Mar 27, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• W••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 27, 2014	$128M	$128M	2	2	n/a	2	$128M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$128M	n/a	n/a	n/a	n/a	2	n/a	n/a	n/a

Relationships

Advises (2)

→ F••• L•Private fundHedge Fund, ERA
Feb 23, 2012 to presentfactForm ADV
→ F••• L•Private fundHedge Fund, ERA
Feb 23, 2012 to presentfactForm ADV

Controls (1)

← S•••••••• J•••••• M•••OwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jun 25, 2013 to presentfactForm ADV

Dated events

Occurred
Jun 25, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f023223a-f54f-9ab0-9c7c-b6993137fa1d
First observed: Jun 25, 2013
Last observed: Mar 27, 2014 152 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.